FINRA Disciplinary Action July 2021
MATTHEW R. LOGAN (CRD #5366984, MONTEPELIER, VERMONT) June 30, 2021 – An OHO decision became final in which Logan was barred from association with any …
A Timeline of Robinhood’s Legal and Regulatory Stumbles
Updated June 30, 2021. Robinhood, the stock trading startup valued at $11.7 billion, has seen as much volatility as the equities market it allows its …
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FINRA Disciplinary Actions May 2021
CANDIDO JOSE VIYELLA (CRD #1829255 , MIAMI, FLORIDA) May 10, 2021 – An AWC was issued in which Viyella was barred from association with any …
FINRA Disciplinary Actions April 2021
CHARLES THOMAS STEVENS (CRD #1698058, ST. AUGUSTINE, FLORIDA) March 26, 2021 – An OHO decision became final in which Stevens was barred from association with …
FINRA Disciplinary Actions March 2021
BYRON PAT TREAT (CRD #1466393, AMARILLO, TEXAS) February26, 2021 – An AWC was issued in which Treat was barred from association with any FINRA member …
Robinhood Claims Now Under Investigation By Girard Bengali, APC
Girard Bengali, APC, a leading Los Angeles securities litigation law firm, has announced that it is investigating claims on behalf of Robinhood users that were …
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FINRA Disciplinary Actions January 2021
DUSTIN PAUL SCHAFER (CRD #4198962, NEW YORK, NEW YORK) January 7, 2021 – An AWC was issued in which Schafer was barred from association with …
FINRA Disciplinary Actions December 2020
DAVID ALAN STATEMAN (CRD #5530638, MIAMI, FLORIDA) December 1, 2020 – An AWC was issued in which Stateman was barred from association with any FINRA …
GIRARD BENGALI, APC IS PROUD TO ANNOUNCE ROBERT J. GIRARD II, ESQ. HAS BEEN ELECTED TO THE PIABA BOARD OF DIRECTORS
GIRARD BENGALI, APC IS PROUD TO ANNOUNCE ROBERT J. GIRARD II, ESQ. HAS BEEN ELECTED TO THE PIABA BOARD OF DIRECTORS Los Angeles, CA (Nov. …
Girard Bengali, APC, Investigating Cynthia Cowden and NBP Financial Group, LLC
October 30, 2020 – A finance industry regulator, Financial Industry Regulatory Authority (FINRA), has barred former NBP Financial Group advisor Cynthia Cowden (née Case) from …
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